Portfolio Managers

Financial Services Quarterly Report - First Quarter 2013: The UCITS Agenda

The first item on the UCITS agenda for 2013 – the ESMA Guidelines on ETFs and Other UCITS Issues (the “Guidelines”) – has gone live. This article provides an update and clarity around the recently finalised Guidelines2 since...more

Hedge Funds And Private Equity Groups On SEC Examination Priority List

The Office of Compliance Inspections and Examinations, or OCIE, administers the SEC’s nationwide examination and inspection program. The National Examination Program, or NEP, has published its examination priorities to...more

Court of Appeal Reiterates the Importance for Investors to Conduct Due Diligence

The Court of Appeal of Quebec has rendered an important decision on the liability of securities dealers and investment advisors. In Mazzarolo v. BMO Nesbitt Burns ltée, 2013 QCCA 245, the Court of Appeal, in accordance with...more

Energy Use Disclosure Requirements Go Into Effect for Owners of Nonresidential California Buildings

More than five years following the enactment of the governing legislation, the first phase of the Energy Use Disclosure Requirements will commence July 1, 2013. Assembly Bills 1103 and 531 require owners of nonresidential...more